Objectives Overview of Policies and Procedures Corrective Action - - PDF document

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Corrective Action and Discipline

Presented by: esented by:

Hu Human Resou man Resource ce Ser Services ices

Revised Oct. 2017

Overview of Policies and Procedures  Corrective Action Process  Disciplinary Process

Objectives

Is there a need for CORRECTIVE ACTION in the workplace? Why or Why not? What is the difference between CORRECTIVE ACTION and DISCIPLINARY ACTION?

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Corrective Actions Are Corrective Actions Are . . . . .

Preventative measures taken

• to promote compliance with

established agency rules and expectations;

• to change unacceptable behavior.

Benefits of Benefits of Corrective Action Corrective Action

• Communication
• Provides Opportunity to Adjust
• Accountability
• Standardizes Process

Disciplinary Disciplinary Actions Actions are . are . . . . .

Formal, pay affecting actions, taken when either

• corrective measures fail to correct

problem OR

• seriousness of offense warrants

more formal measures Imposed only by appointing authority (per BPPM 60.10. See HRS webpage to find out who the AA for your area is)

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Progressive Progressive

• Typically, both corrective and

disciplinary actions are “progressive”

• - starting at the lowest level, and then

progressing up the steps.

• However, this depends on the

specifics of each case

Progression of Progression of Corrective Corrective Action Action

Letter of Reprimand Letter of Concern Notice of Counseling Verbal Counseling w/summary of meeting Verbal Counseling

Progression of Progression of Disciplinary Action Disciplinary Action

(Appointing Authority)

Dismissal Demotion Reduction in Pay Suspension (1-15 days) Pre-Disciplinary Notice

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Identifyi Identifying a g a Performance Performance Deficiency Deficiency

Review the following:

• Position description, goals and expectations
• Are they current and accurate?
• Last Performance Reviews or Annual Review
• Did the employee receive previous corrective

actions?

• Did the employee receive previous discipline?
• Applicable policies and/or procedures -

university and departmental:

• Was it communicated to staff?
• How was it communicated?

Addressing Performance Issues Addressing Performance Issues

• Determine who will meet with employee.

 Immediate supervisor  You and Director/Chair  You and immediate supervisor

• Consider setting and location
• State concerns and issues clearly

– Reminder: Do not state to the employee that this is a HRS meeting or a HRS imposed meeting.

• Focus on behavior, not person
• Indicate seriousness of problem
• Clarify expectations

Clear Clear Rules & Guidelines Rules & Guidelines

Are more effective when they are:

• Needed
• Communicated
• Understood
• Written/Recorded
• Applied equally
• Enforced

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Department Expectations Department Expectations

Typical examples of department expectations:

• Hours of work
• Overtime rules
• Dress Code
• Requesting annual leave
• Call-in procedures for sick leave

Examples Examples

Your employee Jane Doe Smith is the receptionist for the department. Her work schedule is 8 am to 5 pm. For the last month she arrives to work around 8:15 am at least 1-day per week. How would you address the situation? Your employee Jane Doe Smith continues to be late to work. She is now taking longer breaks and extending her lunch period. How would you handle this situation?

Examples Examples

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The Wrong Way to Document… The Wrong Way to Document…

On June 5, met with Joe Adams, verbally counseled about improper behavior. As written – will you remember the “behavior”?

The Right The Right way… way…

On June 5, Joe Adams was verbally warned about his inability to meet deadlines and failure to come into work at his designated start time(s)

• n dates(s).

Another Wrong Another Wrong Way Way …

Joe Adams is unable to do his job. How would you correct this note?

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The Right The Right Way… Way…

Joe Adams did not complete [Name] project by the established deadline of [date] and has been late to work by more then 15 minutes on [date, date and date].

Employee Situation Employee Situation

This month, your employee John Jones has been absent every week on Friday and/or Monday and late for work without calling in to you six times.

• Last month you issued him a Notice
• f Counseling for similar behavior.
• How would you handle this situation?

Let the employee respond

• Listen
• Don’t Interrupt
• Don’t lose your temper
• Don’t argue

Consider/Reconsider course of action based on employee input

During a During a Corrective Corrective Action Meeting Action Meeting

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Tips Tips

• Apply corrective consistently, fairly

and impartially

• Set a good example
• Don’t “save up” concerns
• Praise in public—criticize in private
• Contact HRS for guidance

Things Things to be Aware of… to be Aware of…

• Notice of Investigation
• Timeliness
• Double Discipline
• Due Process
• Union Contract

Notice of Notice of Investigation Investigation

• Depending on the issue/situation a

Notice of Investigation (NOI) may be appropriate to give.

• Bargaining unit covered employees

must receive a written NOI within 10 working days from the date the supervisor or manager becomes aware

• f the situation.

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More… More…

Samples of Investigations:

• Allegations of inappropriate use of

state resources

• Allegation of workplace violence
• Office for Equal Opportunity (OEO):

Allegation of harassment or discrimination

Double Discipline Double Discipline

• Cannot discipline for conduct which

was previously addressed as corrective action (verbal or written).

Considering Disciplinary Action Considering Disciplinary Action

• Contact HRS for guidance
• Issue a Pre-Disciplinary Notice
• Schedule a Pre-Disciplinary Meeting
• Appointing Authority should attend

meeting

• HRS attends the meeting

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Examples Examples

Employee John Smith over the past month has been consistently late for work and

• n two separate occasions was

a no-call no-show. How would you handle this situation?

Pre-Disciplinary Meeting Pre-Disciplinary Meeting

• This is the Employee’s meeting
• Employee is allowed to have a union

representative or co-worker attend

• Meeting is voluntary, employee can

respond in writing or not attend

• After the meeting, the Appointing

Authority makes decision, taking into consideration employee’s input

Considerations Considerations

• Does the proposed discipline fit the

violation?

• Is the proposed discipline likely to

correct behavior?

• Review prior performance issues
• Review performance evaluations
• Extenuating circumstances
• Seriousness of the offense

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Disciplinary Action Disciplinary Action Letter Letter

• Action is decided AFTER employee has

had the opportunity to respond

• If disciplinary action is decided, the

appointing authority notifies employee in writing of action.

• HRS drafts the letters.

How Would How Would You Handle… You Handle…

Your employee walks off the job without permission:

The employee requests use of annual leave the next day to cover time missed. Should you approve use of annual leave?

More… More…

You send your employee home due to inappropriate behavior: Are you required to pay the employee?

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More… More…

You gave your employee a pre- disciplinary notice.

• Employee calls in sick the next day,

completes Family Medical Leave (FML) paperwork and is approved. What happens to the pre-disciplinary process?

Memo & Memo & Letter Templates Letter Templates

• HR Consultants are available to

provide guidance with employee issues including verbal counseling, and writing corrective action memos

• r letters.
• HRS and the appointing authority draft

disciplinary action letters.

• Web resources are also available in

the Managers Section at www.hrs.wsu.edu

Probationary Probationary & Trial Service & Trial Service

• Probationary Employees
• Performance concerns
• Previously discussed

Previously discussed – behavior ehavior continues continues

• Requires 1 day written notice (WAC 357-46)
• Template of notification letter on HRS website
• Trial Service Employees
• Recommended that employee is notified of

deficiency AND allowed a reasonable amount

• f time for improvement before reversion
• Requires 7 calendar days written notice for

civil service, 15 calendar days for BU

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Question… Question…

• What are the possible implications of

an employee not performing at highest standards passing a probationary or trial service period?

• WAC 357-37, 38
• Collective Bargaining Unit

Agreements

• HRS Website –

hrs.wsu.edu

• Corrective/ Discipline

Guide

Resources

For assistance and answers to questions contact HRS at 335-4521, or hrs@wsu.edu If you attended this live training session and wish to have your attendance documented in your training history, please notify Human Resource Services within 24 hours of today's date:

hrstraining@wsu.edu

This has been a WSU Training Videoconference